Helen C. Carey

U.S. BANCORP INVESTMENTS

New York, NY 10036

Some features on this profile are disabled

CRD#: 1047845

Professional summary

Helen Catherine Carey is a registered financial professional currently at U.S. BANCORP INVESTMENTS, INC. located in New York, New York.

Helen is registered as a RR (Registered Representative) and started their career in finance in 1982. Helen has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Helen Catherine Carey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 25, 2010 - Present

U.S. BANCORP INVESTMENTS, INC.

Office #1: 3 Bryant Park 1095 Avenue Of The Americas, New York, NY 10036

RIA

CRD#: 17868

New York, NY

Past

September 16, 2010 - October 15, 2010

GREENCOAST CAPITAL PARTNERS LLC

CRD#: 150776

LOS ANGELES, CA

Past

September 22, 1988 - June 9, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

February 12, 1988 - September 9, 1988

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 24, 1982 - November 4, 1987

SALOMON BROTHERS INC.

CRD#: 740

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

U.S. BANCORP INVESTMENTS, INC.

CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.

CRD#: 17868 / SEC#: 801-68122, 8-35359

RIA

Registered Investment Advisory firm - SEC (7/23/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

California

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

Idaho

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/23/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (7/25/2007 Terminated)

Missouri

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (8/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Washington

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/30/2014)

Alaska
(7/30/2014)

Arizona
(7/30/2014)

Arkansas
(7/30/2014)

California
(10/25/2010)

Colorado
(7/30/2014)

Connecticut
(7/30/2014)

Delaware
(10/25/2010)

District of Columbia
(7/30/2014)

Florida
(10/25/2010)

Georgia
(7/30/2014)

Hawaii
(7/30/2014)

Idaho
(7/30/2014)

Illinois
(10/25/2010)

Indiana
(7/30/2014)

Iowa
(7/30/2014)

Kansas
(10/25/2010)

Kentucky
(7/30/2014)

Louisiana
(7/30/2014)

Maine
(7/30/2014)

Maryland
(10/25/2010)

Massachusetts
(10/25/2010)

Michigan
(10/25/2010)

Minnesota
(10/25/2010)

Mississippi
(7/30/2014)

Missouri
(7/30/2014)

Montana
(7/30/2014)

Nebraska
(7/30/2014)

Nevada
(7/30/2014)

New Hampshire
(7/30/2014)

New Jersey
(10/25/2010)

New Mexico
(7/30/2014)

New York
(10/25/2010)

North Carolina
(10/25/2010)

North Dakota
(7/30/2014)

Ohio
(10/26/2010)

Oklahoma
(7/30/2014)

Oregon
(7/30/2014)

Pennsylvania
(10/25/2010)

Puerto Rico
(7/30/2014)

Rhode Island
(7/30/2014)

South Carolina
(7/30/2014)

South Dakota
(7/30/2014)

Tennessee
(7/30/2014)

Texas
(10/25/2010)

Utah
(7/30/2014)

Vermont
(7/30/2014)

Virginia
(7/30/2014)

Washington
(7/30/2014)

West Virginia
(7/30/2014)

Wisconsin
(10/25/2010)

Wyoming
(7/30/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/29/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/25/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/15/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

U.S. BANCORP INVESTMENTS, INC.

CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.

CRD#: 17868 / SEC#: 801-68122, 8-35359

RIA

Registered Investment Advisory firm - SEC (7/23/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

California

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/26/2007 Terminated)

Idaho

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/23/2007 Terminated)

Iowa

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (7/25/2007 Terminated)

Missouri

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (8/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Oregon

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Utah

Registered Investment Advisory firm - SEC (8/23/2007 Terminated)

Washington

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107

Mailing Address

60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107

Phone number

(800) 888-4700

Established

Delaware since 02/25/1974

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,152

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 OF FORM ADV (PERSONAL PORTFOLIOS WRAP BROCHURE) (11/14/2025)

PART 2A OF FORM ADV (FINANCIAL PLANNING SERVICES) (9/12/2025)

Direct owners and executive officers

Name	Position	CRD#
U.S. BANCORP	PARENT CORPORATION
AHMAD, MASOOD	SENIOR VICE PRESIDENT, OPERATIONS MANAGER	7887624
BEJASA, EILEEN	DIRECTOR	7002808
CLARK, SHANNON KEITH	DIRECTOR AND CHIEF FINANCIAL OFFICER	5829700
FERGUSON, KIMBERLY NICOLE	CHIEF EXECUTIVE OFFICER AND DIRECTOR	4120145
FLOUM, JOEL IRA	DIRECTOR	2405754
LAWLOR, BETH D	DIRECTOR	5352662
MCCARTHY, MATTHEW RYAN	CHIEF LEGAL OFFICER	6818984
MOLLOY, JOHN WILLIAM JR.	DIRECTOR	1939358
ROLLAND, JODI THOMPSON	DIRECTOR	2290884
SALSTROM, KYLE NORMAN	CHIEF COMPLIANCE OFFICER, DIRECTOR	5025315
STEGEMEYER, STEPHEN KYLE	DIRECTOR	2793064
STEINER, STEPHEN WARD	CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR	2259345
WHANG, JAMES	DIRECTOR	2737019

Regulatory assets under management

Total Number of Accounts	66,996
AUM (Assets Under Management)	$ 19,296,734,956

Disclosures

Regulatory Event	16
Arbitration	12

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2024	Cover Page	Report
11/21/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Helen C. Carey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Helen Catherine Carey's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREENCOAST CAPITAL PARTNERS LLC

GOLDMAN SACHS & CO. LLC

DB ALEX. BROWN LLC

SALOMON BROTHERS INC.

Primary Firm SEC Registration

U.S. BANCORP INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/29/1988

SIE

Date: 10/1/2018

Series 3

Date: 5/25/1984

Series 7

Date: 5/15/1982

FINRA

Current Firm

U.S. BANCORP INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

U.S. BANCORP INVESTMENTS, INC.

TRUST BUT VERIFY

Similar Advisors